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Join our team at The Arc Chemung-Schuyler as a Full Time Fire and Safety Compliance Coordinator in Elmira. To excel as a Fire and Safety Compliance Coordinator at The Arc Chemung-Schuyler, candidates must possess strong qualifications in the field.
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Develop, implement, and maintain Forge's broker-dealer and RIA compliance programs. Maintain and enhance the company's BD and RIA compliance program. 10+ years' compliance experience in a compliance department of a registered broker-dealer.
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Under general direction of the Firm’s General Counsel and Chief Operating Officer, and in alignment with the Finance Team and Conflicts & Intake Analysts, the Conflicts and Compliance Attorney will help to manage legal issues impacting the Firm. The Conflicts and Compliance Attorney will be responsible for researching, analyzing and managing compliance-related issues and processes.
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The Global Head of AML Risk Management - Wealth reports to Citis Chief Compliance Officer (CCO) Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) and will be responsible for driving change and the primary face-off to the Wealth line-of-business, including providing thought leadership, direction and driving greater consistency in global program design and execution across our wealth management activities.
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Ensuring that the National Office conducts its business in compliance with all applicable U.S. and international laws and regulations for exempt organizations, including tax, federal and state campaign finance laws, lobbying disclosure requirements, and gift and ethics rules.
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The Associate General Counsel reports directly to the Deputy General Counsel. Provide advice on other matters requested by the General Counsel and Deputy General Counsel. Education: Juris Doctor (JD) from accredited U.S. law school.
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Minimum 2 years of AML, Regulatory Compliance and/or Model Validation experience in financial institutions. RSM's AML/Regulatory Compliance group in association with our national Blockchain and Digital Assets team is currently seeking a strong resource to join our fast-growing Risk Consulting practice at the Senior Associate level.
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Experience analyzing complex business operations, verifying compliance with fuel tax laws or activities in the petroleum industry. Experience in conducting investigations, analyzing basic business operations, verifying compliance with specific laws or activities in the petroleum industry.
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We have an exciting opportunity for a Food Safety Compliance & QA Manager role in a wholesale company based in California. The company is looking for a qualified Food Safety Compliance Manager who will be in charge of developing, putting into action, documenting, regulating, and maintaining the food safety programs as well as making sure that all programs are implemented and kept up to date.
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Corporate Banking Compliance Officer, AVP page is loaded. Monitor/review business activities across various product areas, while fulfilling responsibilities related to Request for Information (RFIs) related to KYC/risk/compliance issues identified as part of the KYC due diligence.
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Act as formally designated In–House Counsel to Firm; conduct privileged discussions with and advise General Counsel, partners, associates and staff on OCG review and compliance issues, approaches and processes.
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Work regularly with the Senior Compliance Officer for the investment adviser and broker-dealer, as well as other divisional CCOs and legal staff in developing and implementing policies and procedures for a registered investment adviser and broker-dealer with a specific emphasis on the Investment Advisers Act, the Securities Exchange Act, and FINRA and related rules and regulations.
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Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates. Relevant experience providing compliance or legal coverage to a sales or trading Rates desk at a broker/dealer working on or providing trade/sales support to such a desk.
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Haugland Group, a family owned and operated Long Island, New York based electrical and heavy civil construction company has an immediate opportunity for an Environmental Compliance Project Engineer to join our team in Queens.
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Mitarbeiter (m/w/d) IT-Security Analyst / IT-Compliance Manager. Steuerung, Einhaltung und Umsetzung aufsichtsrechtlicher und gesetzlicher Anforderungen im IT-Umfeld (IT-Compliance) Mitarbeiter (m/w/d) IT-Security Analyst / IT-Compliance Manager.
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Title: compliance Company: Rialto Capital Advisors Of New York in Pine City, NY
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